Job Details

Principal Analyst, Risk Monitoring - Diversified, Carrying and Clearing Firms

Company name

FINRA. 

Organization Type

Public Interest

Job Type

Non-practicing Attorney

Valid Through

Sep 21, 2021

Posted on

Jun 08, 2021

Years of Experience

Min 2 yrs required

Location

New York City, NY, United States

Employment Type

Full-time

Industry

Legal
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Profile

Principal Analyst, Risk Monitoring - Diversified, Carrying and Clearing Firms
The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Will report to a Risk Monitoring Director and support both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conduct risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Collaborate with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence. Mentor and coach more junior level risk monitoring staff. Serve in leadership roles related to special projects and technology initiatives. Perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.

Qualification and Experience

The candidate should have a Bachelor's degree in Finance, Accounting, Business or related field(s). Graduate degree (MBA or J.D.) and/or relevant industry certification(s) are preferred. Must have demonstrated experience relating to all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets). Demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models are required. Should have intermediate to advanced knowledge of: the organization's nine risk fundamentals; securities rules and regulations; and firm business models, business lines, customer bases, products and services. Intermediate knowledge of U.S. GAAP accounting standards is needed. The ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management is essential. Intermediate to advanced level proficiency in MS Excel and Word is a must.

Additional info

Req. #: R-002881

Company info

Hiring Coordinator
FINRA.
One Liberty Plaza
New York City, NY 10006

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